Marketing, distribution and transfer agency 

Description 

The training is part of the Fund Governance Masterclass, a certification programme with the below topics:

• Module 1 - Funds & IFMs: Governance fundamentals
• Module 2 - Portfolio management 
• Module 3 - Risk management
• Module 4 - Fund Administration, Depositary and Valuation
• Module 5 - AML/CFT: key considerations for the Fund industry
• Module 6 - The role of the auditor
• Module 7 - Marketing, distribution and transfer agency
• Module 8 - ESG developments for Fund Directors
• Module 9 - Technology challenges for Fund Directors
• Module 10 - Fund Governance in Practice

The successful marketing of a fund to investors encompasses a clear strategy and ongoing adherence to a myriad of rules, at Luxembourg, European and at local level in each country of distribution. The relevant regimes range from pre-marketing, solicitation, private placement and public distribution.

Key aspects covered include choosing which distribution channels are best suited to reach the fund’s target market and increase its assets under management, product governance, provision of fund documentation and various notifications/authorisations, use of share classes and fee sharing considerations.
The models, the responsibilities of the Transfer Agent (TA) irrespective of the model selected, as well as aspects such as deal and payment processing, reporting to client and authorities as well as key risks and relevant controls will be covered.
This module will address the monitoring of the marketing, distribution and transfer agency, and mitigation of key risks, the oversight by the Board over marketing to ensure that key risks are monitored and managed.